REG - Goldman Sachs & Co. CME Group Inc. - Form 8 (DD) - CME GROUP INC. - Amendment

CMEAnnouncement

05/11/2018 07:00

RNS Number : 3059G
Goldman Sachs & Co. LLC
05 November 2018
 


Amendment - due to the amendment of Derivative transactions, the disclosure made on 30 October for dealings on 29 October have been updated. Sections 2(a) and 3(b) have been updated.
 
FORM 8 (DD)
 
PUBLIC DEALING DISCLOSURE BY A PARTY TO AN OFFER OR PERSON ACTING IN CONCERT (INCLUDING DEALINGS FOR THE ACCOUNT OF DISCRETIONARY INVESTMENT CLIENTS)
Rules 8.1, 8.2 and 8.4 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 



(a) Full name of discloser:


GOLDMAN SACHS & CO. LLC




(b) Owner or controller of interests and short positions disclosed, if different from 1(a):
     The naming of nominee or vehicle companies is insufficient. For a trust, the trustee(s), settlor and beneficiaries must be named.








(c) Name of offeror/offeree in relation to whose relevant securities this form relates:
     Use a separate form for each offeror/offeree


CME GROUP INC.




(d) Status of person making the disclosure:
     e.g. offeror, offeree, person acting in concert with the offeror/offeree (specify name of offeror/offeree)


Advisor to NEX GROUP PLC




(e) Date dealing undertaken:


29 October 2018




(f)  In addition to the company in 1(c) above, is the discloser making disclosures in respect of any other party to the offer?
     If it is a cash offer or possible cash offer, state "N/A"


NO



 
2.         POSITIONS OF THE PERSON MAKING THE DISCLOSURE
 
If there are positions or rights to subscribe to disclose in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 2(a) or (b) (as appropriate) for each additional class of relevant security.
 
(a)        Interests and short positions in the relevant securities of the offeror or offeree to which the disclosure relates following the dealing
 



Class of relevant security:
 


USD 0.01 Class A common








Interests


Short positions








Number


%


Number


%




(1) Relevant securities owned and/or controlled:


532,120


0.15


750,550


0.22




(2) Cash-settled derivatives:


446,509


0.13


3,743


0.00




(3) Stock-settled derivatives (including options) and agreements to purchase/sell:


1,200


0.00


8,500


0.00




 
     TOTAL:


979,829


0.28


762,793


0.22



 
 
 
All interests and all short positions should be disclosed.
 
Details of any open stock-settled derivative positions (included traded options), or agreements to purchase or sell relevant securities, should be given on a Supplemental Form 8 (Open Positions).
 
Details of any securities borrowing and lending positions or financial collateral arrangements should be disclosed on a Supplemental Form 8 (SBL).
 
(b)        Rights to subscribe for new securities (including directors' and other employee options)
 



Class of relevant security in relation to which subscription right exists:








Details, including nature of the rights concerned and relevant percentages:







 
 
3.         DEALINGS BY THE PERSON MAKING THE DISCLOSURE
 
Where there have been dealings in more than one class of relevant securities of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as appropriate) for each additional class of relevant security dealt in.
 
The currency of all prices and other monetary amounts should be stated.
 
(a)        Purchases and sales
 
(i)         Party to an offer or person acting in concert (except for a principal trader in the same group as a connected adviser)
 



Class of relevant security


Purchase/sale
 


Number of securities


Price per unit





















 
(ii)        Principal trader where the sole reason for the connection is that the principal trader is in the same group as a connected advisor
 



Class of relevant security


Purchases/ sales
 


Total number of securities


Highest price per unit paid/received


Lowest price per unit paid/received




USD 0.01 Class A common


Purchases


85,646


181.9000 USD


177.0800 USD




USD 0.01 Class A common


Sales


35,382


181.7900 USD


177.6200 USD



 
 
(b)        Cash-settled derivative transactions
 



Class of relevant security


Product description
e.g. CFD


Nature of dealing
e.g. opening/closing a long/short position, increasing/reducing a long/short position


Number of reference securities


Price per unit




USD 0.01 Class A common


CFD


Reducing a short position


306


179.3900 USD




USD 0.01 Class A common


CFD


Increasing a short position


9


179.8200 USD




USD 0.01 Class A common


CFD


Reducing a long position


478


180.1205 USD




USD 0.01 Class A common


CFD


Reducing a long position


436


180.2485 USD




USD 0.01 Class A common


CFD


Increasing a short position


400


180.2525 USD




USD 0.01 Class A common


CFD


Reducing a long position


196


180.3130 USD




USD 0.01 Class A common


CFD


Reducing a long position


82


180.3510 USD




USD 0.01 Class A common


CFD


Increasing a short position


100


180.4300 USD




USD 0.01 Class A common


CFD


Opening a short position


306


180.4300 USD




USD 0.01 Class A common


CFD


Increasing a short position


100


180.4300 USD




USD 0.01 Class A common


CFD


Reducing a long position


318


180.4707 USD




USD 0.01 Class A common


CFD


Increasing a short position


600


180.6767 USD




USD 0.01 Class A common


Call Option


Opening a long position


1,100


188.0900 USD



 
 
(c)        Stock-settled derivative transactions (including options)
 
(i)         Writing, selling, purchasing or varying
 



Class of relevant security


Product description e.g. call option


Writing, purchasing, selling, varying etc.


Number of securities to which option relates


Exercise price per unit


Type
e.g. American, European etc.


Expiry date


Option money paid/ received per unit





































 
(ii)        Exercise
 



Class of relevant security


Product description
e.g. call option


Exercising / exercised against


Number of securities


Exercise price per unit

























 
(d)        Other dealings (including subscribing for new securities)
 



Class of relevant security


Nature of dealing
e.g. subscription, conversion


Details


Price per unit (if applicable)








 
 











 
4.         OTHER INFORMATION
 
(a)        Indemnity and other dealing arrangements
 



Details of any indemnity or option arrangement, or any agreement or understanding, formal or informal, relating to relevant securities which may be an inducement to deal or refrain from dealing entered into by the party to the offer or person acting in concert making the disclosure and any other person:
Irrevocable commitments and letters of intent should not be included. If there are no such agreements, arrangements or understandings, state "none"




 
NONE
 



 
(b)        Agreements, arrangements or understandings relating to options or derivatives
 



Details of any agreement, arrangement or understanding, formal or informal, between the party to the offer or person acting in concert making the disclosure and any other person relating to:
(i)  the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state "none"




 
NONE
 



 
(c)        Attachments
 
Are any Supplemental Forms attached?
 



Supplemental Form 8 (Open Positions)


YES




Supplemental Form 8 (SBL)


NO



 
 



Date of disclosure:


05 November 2018




Contact name:


Kashif Rafiq and Papa Lette




Telephone number:


+44(20) 7051 0547 / +44(20) 7774 7442



 
Public disclosures under Rule 8 of the Code must be made to a Regulatory Information Service and must also be emailed to the Takeover Panel at monitoring@disclosure.org.uk.  The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
 
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.
 
 
SUPPLEMENTAL FORM 8(OPEN POSITIONS)
 
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS, AGREEMENT TO 
PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the "Code")
 
1.         KEY INFORMATION
 



     Full name of person making disclosure:


GOLDMAN SACHS & CO. LLC




     Name of offeror/offeree in relation to whose relevant securities disclosure relates:


CME GROUP INC.



 
 
2.         STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
 



Class of relevant security


Product description e.g. call option


Written or purchased


Number of securities to which option or derivative relates


Exercise price per unit


Type
e.g. American, European etc.


Expiry date




USD 0.01 Class A common


Call Option


Sold


100


120.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Call Option


Sold


2,200


175.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


100


140.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


100


150.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Sold


300


95.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


300


100.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


400


165.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Sold


900


125.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


1,000


85.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


1,000


175.0000 USD


AMER


18/01/2019




USD 0.01 Class A common


Put Option


Purchased


3,300


170.0000 USD


AMER


18/01/2019



 
 
3.         AGREEMENTS TO PURCHASE OR SELL
 



Full details should be given so that the nature of the interest or position can be fully understood:









 
It is not necessary to provide details on a Supplement form (Open Positions) with regard to cash-settled derivatives.
 
 The currency of all pieces and other monetary amounts should be stated.
 
The Panel's Market Surveillance Unit is available for consultation in relation to the Code's disclosure requirements on +44 (0)20 7638 0129.
 
The Code can be viewed on the Panel's website at www.thetakeoverpanel.org.uk.




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